Richard John Rosenstock
Professional Summary
Richard John Rosenstock is a registered financial advisor currently at EARLYBIRDCAPITAL, INC. located in Melville, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 1976. Richard has worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 27, Series 4, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
CORNELL SECURITIES CONSULTANTS, INC. | SOUTHEAST RESEARCH PARTNERS, INC. | EARLYBIRDCAPITAL.COM INC. | EARLYBIRDCAPITAL, INC.
Contact Information
Main Address
One Huntington Quadrangle, Suite 1c15, Melville, NY 11747Mailing Address
1 Huntington Quadrangle 1c15, Melville, NY 11747Phone Number
+1 (631) 770-0600Established
Delaware since 05/09/1991Firm Type
CorporationFiscal Year End
JanuaryFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Arbitration
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/8/2024)
(8/8/2024)
(8/5/2024)
(8/13/2024)
(8/22/2024)
(8/15/2024)
(8/7/2024)
(8/7/2024)
(7/31/2024)
(8/6/2024)
(8/6/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
F04 — Financial Principal Examination
Passed Oct 1978Series 40 — Registered Principal Examination
Passed Jan 1978SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard John Rosenstock's CRS (Customer Relationship Summary).
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